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Securities and Exchange Commission (SEC) › Form ADV › Disgorgement

Holland & Knight LLP

SEC Feels the Heat

Holland & Knight LLP on

Earlier this year, the U.S. Court of Appeals for the First Circuit vacated and remanded a $93 million district court judgment entered against a broker-dealer and investment adviser for allegedly inadequate disclosures of...more

Dorsey & Whitney LLP

SEC Sanctions Adviser For Not Fully Disclosing Fee Arrangements

Dorsey & Whitney LLP on

The Commission has brought a series of cases focused on undisclosed conflicts of regulated entities. A number of those cases centered on undisclosed fee and compensation arrangements. In its most recent case the agency went...more

King & Spalding

SEC Steps Up Scrutiny On Private Fund Fee Allocation Practices

King & Spalding on

In two recent cases, the Securities and Exchange Commission (the SEC) has made clear that it has increased its focus on private funds and their allocation of fees and expenses. In the most recent, the SEC entered an order on...more

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